Electric Quarterly Report [including formerly separate IC on time zone info.]

FERC-920 (Electric Quarterly Report (EQR))

EQR users-guide7-23-2014

Electric Quarterly Report [including formerly separate IC on time zone info.]

OMB: 1902-0255

Document [pdf]
Download: pdf | pdf
Version 3

Electric Quarterly
Report (EQR)
Web Interface and XML
System Guide

Federal Energy Regulatory
Commission

July 23, 2014

Version 3

EQR Web Interface and XML System Guide
TABLE OF CONTENTS

I.

EQR Redesign for 3rd Quarter 2013 and Beyond ...............................................................1
EQR Application Overview ........................................................................................................ 1
EQR Filing System Rules ........................................................................................................... 2
Filing for 2nd Quarter 2013 and Earlier ....................................................................................... 2
II.
Getting Started through Web Interface ................................................................................3
Logging In ................................................................................................................................... 3
Sellers Screen Field Descriptions ............................................................................................... 4
Filing Period ....................................................................................................................................................4
Seller Name (Seller CID) ................................................................................................................................4
Last Action Date..............................................................................................................................................4
Filer .................................................................................................................................................................5
Status ...............................................................................................................................................................5

Entering Data through Actions on Seller Screen ........................................................................ 6
EQR Filing Steps: “CSV New” Action ...........................................................................................................7
EQR Filing Steps: Uploading Large CSV Files ..............................................................................................9
EQR Filing Steps: “Prefill from Prior Filing Period” Action ........................................................................ 14
EQR Filing Steps: “Manual New” Action ..................................................................................................... 24

III.
Data Review and Verification in the Web Interface ..........................................................34
ID Data Tab............................................................................................................................... 34
Filer Radio Button ......................................................................................................................................... 34
Sellers ............................................................................................................................................................ 36

Customer Company Information on the Buyer Tab ................................................................. 38
Contracts Tab ............................................................................................................................ 39
Contracts Details Tab ................................................................................................................ 41
Contract Products Tab............................................................................................................... 42
Transactions Tab ....................................................................................................................... 43
IV.
Submitting the EQR Filing ................................................................................................45
V.
EQR Test Only Option.......................................................................................................47
Accessing the Test Only Option ............................................................................................... 47
Sending Data for Test Only Validation .................................................................................... 49
Test Only – CSV File Download .............................................................................................. 50
Test Only XML Submission Download ................................................................................... 51
Delete Working Data ................................................................................................................ 54
VI.
Notifications .......................................................................................................................55
FERC Receipt of EQR data ...................................................................................................... 56
FERC Validation Processing .................................................................................................... 57
FERC Rejection of EQR Filing ................................................................................................ 58
FERC Acceptance of EQR Filing ............................................................................................. 59
VII. Uploading an XML File .....................................................................................................60
Option-1: Direct XML Upload ................................................................................................. 60
Option-2: Web Service ............................................................................................................. 63
XML Data Validation ............................................................................................................... 64
Direct XML Submissions Test Only......................................................................................... 65
Appendix A – The CSV File............................................................................................................ i
Appendix B – Error Messages for CSV Upload and Pre-Validation.............................................. ii

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I. EQR Redesign for 3rd Quarter 2013 and Beyond

EQR Redesign for 3rd Quarter 2013 and Beyond

The new Electric Quarterly Reports (EQR) system provides a technical solution to collect,
analyze, and manage the data reported in the EQRs.
The EQR system will allow required Sellers (“Sellers”) to file their EQRs by use of a web
interface or by submitting an Extensible Mark-Up Language-formatted (XML) data.
The redesigned system will engage a service-oriented architecture and capitalize on the existing
systems in the FERC enterprise specifically. EQR Sellers and their designated Agents will be
required to use the FERC’s eRegistration and Company Registration portals.
•

The existing eRegistration services are used for authentication and authorization of the
individual(s) using the system. Only individuals registered in the FERC eRegistration
system are designated to file EQRs on behalf of one or more Seller(s). Information
regarding eRegistration is found on the FERC website at http://www.ferc.gov/docsfiling/eregistration.asp. Please contact [email protected] with additional
eRegistration questions.

•

The existing Company Registration system is used for authorization and authentication of
the Companies that do business with FERC, including Sellers and Agents. Sellers will be
required to use the Company Registration system to obtain a Company Identifier (if the
company does not already have a Company Identifier). A Seller may also designate
employees or registered third party individuals or companies to submit EQR filings on its
behalf. Information regarding Company Registration is found on the FERC website at
http://www.ferc.gov/docs-filing/company-reg.asp. Please contact
[email protected] with additional Company Registration questions.

EQR Application Overview
The EQR application is designed to gather and manage information about these four main data
elements:
•
•
•
•

ID Data
Contract Data
Transaction Data
Index Reporting Data

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I. EQR Redesign for 3rd Quarter 2013 and Beyond

EQR Filing System Rules
The rules governing the flow of information are contained in the Data Dictionary and validation
rules at the following links. Error messages and their cause are listed in Appendix B of this
guide.
Data Dictionary: http://www.ferc.gov/docs-filing/eqr/order770/data-dictionary.pdf
Validation: http://www.ferc.gov/docs-filing/eqr/order768/validation-rules.pdf
Error Message Table: (See Appendix B in this guide for a listing of all error messages)

Filing for 2nd Quarter 2013 and Earlier
Filings prior to 3rd Quarter, 2013 should follow the steps and processes described in the “Filing
for 2nd Quarter 2013 and Earlier” portion of the EQR page at the link below.
http://www.ferc.gov/docs-filing/eqr.asp

Figure 1 – Where to Find Prior Filing Information

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EQR Web Interface and XML System Guide
II. Getting Started through Web Interface

Getting Started through Web Interface

The EQR system provides a web-based user interface where users can create, edit, update, copy,
and delete EQR filings. Filings for 3rd Quarter 2013 and beyond should follow the steps in this
Guide as well as any information described in the “Filing for 3rd Quarter 2013 and Beyond”
portion of the EQR page.
NOTE: Prior to using the EQR system, a user must be eRegistered and be delegated by a
registered Seller company. 1

Logging In
To access the EQR Web client, a user should:
1. Access the public FERC Web Site at http://www.ferc.gov .
2. Click on the Documents & Filing menu Electric Quarterly Report (EQR).
3. Click on the EQR Registration link Icon.

4. The following screen displays the EQR Initial Log-In Screen.

Figure 2 - EQR Initial Log In Screen
5. Enter the email address and password created in the eRegistration system.

1

Information regarding Company Registration and eRegistration may be found on the
FERC website at http://www.ferc.gov/docs-filing/company-reg.asp and
http://www.ferc.gov/docs-filing/eregistration.asp.

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6. The Sellers Screen (Figure 3, below) lists the Seller (Data Dictionary Field 2) names that
are assigned to the user who logs in.

Sellers Screen Field Descriptions
Filing Period

Last Action Date Populated
After filing submitted
successfully

Status populated based on filing
status

Seller Name
List from
Company
Registration

Filer same as
Seller plus any
designated
Agents

Action must be selected to process filing
Figure 3 – Sellers Screen Fields

Filing Period
The filing period will default to the current filing period.

Seller Name (Seller CID)
The Seller is the name of the company that is authorized and required to file as indicated in the
Company Registration. The “Seller Names” column displays those companies that have
assigned the currently logged-in user as an EQR Seller contact or delegated EQR Agent. The
Company Identifier (CID) is a number that is assigned to the Seller during the Company
Registration process.

Last Action Date
This column will populate with an appropriate date if there is a filing that has been filed and
accepted.

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Filer
The Filer list reflects the Sellers and designated Agents registered during the Company
Registration Process. In most cases, the Seller is also the Filer, as shown below.

Figure 4 - Seller Name and Filer Name
NOTE: The user may select another Seller from the Filer drop-down menu if the user has
been assigned as an EQR Agent for multiple Sellers in the Company Registration process.

Status
This column displays one of the following:
•

Editable – This is the status of a previous filing that has been submitted by this
seller.

•

Locked – This is the status of a filing that another user is editing. Please see rules
below.

•

Blank – This is the status if a filing has not been filed by this seller.

Locked Status Rules
It is possible for multiple users at multiple locations to perform edits in the EQR system on the same EQR
filing (for the same Seller and for the same Filing Period). However, the following guidelines apply:
• Only one assigned user at a time may edit the same EQR filing in the EQR System for a given Seller and
given Filing Period.
• When a user selects a Seller for a filing Action, the system locks the Seller’s working data to prevent
other users from selecting that same Seller for any filing Action within the same Filing Period.
• As long as the user is actively working on the data, the system will remain locked.
• The user will be automatically logged out if the session is inactive for 20 minutes.
• When a user intentionally logs out, the system will also release the lock on the Seller’s working data.
The system will save the changes made by that user and will keep the working data available for
subsequent users until FERC accepts that filing.
• If a user unintentionally exits the web interface, the working data will be saved for subsequent users.

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Entering Data through Actions on Seller Screen
A user must select an Action from the drop-down menu of available options under the “Action”
column to create, review, or modify a filing. The following options are available from the dropdown menu:
•

No Action – This default status indicates that the user has not yet selected
any action for the Seller/Filing period.

•

CSV New – This action allows a user to create a new EQR filing from data
that is uploaded in a zip file (containing up to four CSV files). This
selection creates Seller’s Identification, Contract Information, and
Transactions Information.

•

CSV Replace – This action will override all or a portion of the information
in an existing filing of the selected Seller/Filing Period with the data
contained in a replacement CSV file uploaded by the user.

•

Manual New – This action displays blank data entry screens, allows the user
to enter all (or a portion of) the filing information manually. The Seller’s
Identification information, the Contract Information, and/or the Transactions
Information can be keyed in by the user.

•

Manual Edit – This action retrieves existing data for the selected
Seller/Filing period from the EQR database, displays the data on the screen,
and allows the user to update and save the data. The Seller’s Identification
Information, the Contract Information, and/or the Transactions Information
can be updated manually. This option is only available for non-legacy data
(i.e., a Seller must have filed at least one quarter of EQR data in the new
system before this option becomes available).

•

Prefill from Prior Filing Period – This action retrieves existing Seller and
Contract information from the previous quarter’s filing, and displays the data
on the screen. The user can then update the data and reuse it for the current
filing period. This option is only available for non-legacy data (i.e., once a
user has made a prior-period filing in the new system).

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EQR Filing Steps: “CSV New” Action
If the user selects the CSV New Action, (s)he will perform the following steps:
1. Select the correct Filing Period from the drop-down box on the initial Seller’s Screen.

Figure 5 - Initial Seller’s Screen and Fiscal Quarter Drop Down
IMPORTANT: The filing period selected from the drop-down menu must correspond to the
filing quarter indicated in the Identification CSV file or the system will not accept the filing.

Figure 6 – Filing Period Must Match Filing Quarter Column in CSV File

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2. Select CSV New from the Action drop-down list.

Figure 7 – Action List
3. Click Browse to locate the CSV File to upload in the EQR system.

Figure 8 – File Selection
4. Click Upload to upload the CSV Zip file in the EQR System.
If you entered data using CSV new and received a large CSV file notification, please skip to
EQR Filing Steps: Uploading Large CSV Files on the next page.
IMPORTANT:
Loading the data, is not the same as filing. Users must proceed to step 5 (“click enabled Seller
name, Figure 10 Figure 10 – Zip File loaded and Seller Name enabled) and click on “submit”
(Figure 11 Figure 11 – Submit Button) to complete an EQR filing.

NOTE: If the uploaded data contain errors, the screen will display error information in one of two ways
shown in Figure 9 below. The errors listed in the
screen must be corrected before the data can be
successfully uploaded. For a list of error
messages, please see Appendix B of this guide.

Figure 9 – Examples of Validation
Error Notices

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5. Click on the enabled Seller name. The loaded Zip file is now associated with this Seller
name and will display the data detailed in the Data Verification and Filing section of
this guide.

Figure 10 – Zip File loaded and Seller Name enabled
IMPORTANT:
Loading the data, is not the same as filing. Users must proceed to step 5 (“click enabled Seller
name, Figure 10 Figure 10 – Zip File loaded and Seller Name enabled) and click on “submit”
(Figure 11 Figure 11 – Submit Button) to complete an EQR filing.

Figure 11 – Submit Button
NOTE: Before hitting submit, users are encouraged to proceed to instructions in
III. Data Review and Verification in the Web Interface beginning on page 34.

EQR Filing Steps: Uploading Large CSV Files
CSV files over a certain size will prompt notification that the file is too large to be submitted for
pre-validation and provide an option to submit the file for Test Only or Direct CSV Submission.
This accommodates the system’s process queue management. At any given time, the system
may adjust one or more size thresholds in order to optimize queue management. Upon receiving
the notification, users can select the option to submit the file for Test Only or for Direct CSV
Submission.

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NOTE: The Test Only process does not write to the database so we encourage use of the
Test Only process to improve submission response time and queue management. Once
testing is completed, users may submit tested files in Direct CSV Submission to complete
filing requirements.
1. Select the correct Filing Period from the drop-down box on the initial Seller’s Screen.

Figure 12 - Initial Seller’s Screen and Fiscal Quarter Drop Down
IMPORTANT: The filing period selected from the drop-down menu must correspond to the
filing quarter indicated in the Identification CSV file or the system will not accept the filing.

Figure 13 – Filing Period Must Match Filing Quarter Column in CSV File

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2. Select CSV New from the Action drop-down list.

Figure 14 - Action List
3. Click Browse to locate the CSV File to upload in the EQR system.

Figure 15 – File Browse Selection
4. Click Upload to upload the CSV Zip file in the EQR System.
5. A CSV file too large will display the following message.

Figure 16 – Large File Message

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6. Click OK. New filing options will display at the bottom of the screen as in Figure 17
below.

Figure 17 – Large File Options displayed
7. Select from one of the following Options
•

Test Only Validation

•

Direct Submission

8. Click the Browse button to select the file again.
9. Click the Upload button to load the file.
10. The file will now be processed for Large CSV File Processing. The system will email
results of the selected process upon processing completion.

Figure 18 – Message Confirming Large File Sent
11. The Large File Processing buttons list can be closed by clicking into the blue triangle on
the left of the buttons list (see Figure 17, above). System function will be returned back
to regular file size. You may upload the file again.

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NOTE: To view data from a submission containing over 10,000 rows of data, use the
report viewer after the file is accepted at http://eqrreportviewer.ferc.gov

Figure 19 – Error Retrieval Message

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EQR Filing Steps: “Prefill from Prior Filing Period” Action
This action retrieves existing Seller’s identification and contract information from the prior
quarter’s filing, and displays the data on the screen. The user can then update the data and reuse
it for the current filing period.
1. Select the current Filing Period from the Filing Period drop-down menu.
NOTE: The Filing Period selection is critical to this action. Users who select “prefill”
must be able to retrieve data already stored in the system from a preceding quarter.
Prefill works in the current quarter only if there is a Last Action Date message displayed
for the seller reflecting that there is an earlier quarter’s data.

Figure 20 – Seller Names and Last Action Date
2. Select the Prefill from Prior Filing Period action from the Action drop-down box.

Figure 21 – Prefill from Prior Period Action

3. Click the Seller name.
NOTE: If the Seller has not filed the previous
quarter, the prefill option is not available and the
system will display the message in Figure 22.

Figure 22 – No Prior Filing Error

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4. If prefill data is available, the ID Data Tab is displayed with data as shown in Figure
23.

Figure 23 – ID Data Tab

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5. Click Filer radio button to verify contact information for Agent.
NOTE: There can be only one Filer Agent Contact.
6. If the logged in filer has changed, click Remove. Then select the logged in filer from
the contact drop-down list and click Assign Contact to assign Filer Agent Contact.

Figure 24 – Contact Selected
7. Click Seller radio button to verify the Seller contact information. As above, the Seller
Contact may be Removed and a new Contact Assigned from the drop-down list.

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Figure 25 – Seller Screen
8. Check the box beside Transactions Reported to Index Publisher, if applicable, at
the bottom of the ID Data tab. Using CSV upload, please indicate Y or N as
applicable.
9. Select a Price Publisher (Field 73) (such as EIG, IP, DJ) from the drop-down list.

Figure 26 – Index Price Publisher Information
10. Click Save to save the information.
11. Click Add to add an additional Index Price Publisher.

IMPORTANT:
If the Seller has no further contracts or transaction data to report,
the Seller may click on “submit” to proceed with the EQR filing.

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12. Click on Buyers Tab to view Customer Company information.

Figure 27 – Customer Company Information on Buyers Tab
13. Click Add to add any additional Customer Companies.

Figure 28 – Adding Customer Company Information
14. Enter the new Customer Company name in the field provided.
15. Click Save to save the changes.
16. Click on a Customer Company to edit the Customer Company name.
17. Click Edit to modify the company name.

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18. Click Delete to remove a company name from the list.
19. Click Reset to reset to the previous data.
20. Click Save to save the changes.
NOTE: If there are no additional changes, the user can send the EQR data by clicking
Submit.

Figure 29 – Showing Submit Button

21. Click Contracts Tab (Figure 30 below) to view Contracts Information.
22. Click Add to add Contract Details information.

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Figure 30 – Contracts Tab
23. Click Edit to edit the information displayed in the Contracts Details Screen.
IMPORTANT: Every field containing an asterisk must be reported as required and
defined in the Data Dictionary at http://www.ferc.gov/docs-filing/eqr/order770/datadictionary.pdf.
24. Click Delete to delete the contract. If the Seller has existing transactions associated
with this contract, the system will warn the user to first delete the associated
transactions before removing the related contract.
25. Click Save to save the new data.
26. Click the Contract Products Tab shown in Figure 31 to view Product information.

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27. Click Add to add additional Contract Products.
28. Click Edit to edit existing data.

Figure 31 – Contract Products Tab
29. Click Delete to delete selected Contract Products.
30. Click Save to save changes.
IMPORTANT: Every field containing an asterisk must be reported as required and
defined in the Data Dictionary at http://www.ferc.gov/docs-filing/eqr/order770/datadictionary.pdf.

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31. Click the Transactions Tab (Figure 32) to view Transaction Details.

Figure 32 – Transactions Tab
32. Click Add to add additional Transactions. The fields will now be enabled.
IMPORTANT: Every field containing an asterisk must be reported as required and
defined in the Data Dictionary at http://www.ferc.gov/docs-filing/eqr/order770/datadictionary.pdf.

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33. Click Submit to send the current EQR data for filing.

Figure 33 – Showing the Submit Button

34. The following screen displays.

Figure 34 – Confirmation Screen

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EQR Filing Steps: “Manual New” Action
This action displays new data entry screens and allows the user to enter data manually. The
minimum required data is the Seller Identification data. If applicable, the user must also report
Contract, Transaction, and Index Reporting data.
To create a new EQR filing, the user must perform the following steps:
1. Select the Manual New action from the drop-down menu in the Action column
of the associated seller.

Figure 35 – Manual New Action
2. Click the enabled Seller name link as shown in Figure 35, above. The ID Data
Screen displays as shown in the example below.

Figure 36 – ID Data Tab
3. Click the Filer radio button (Figure 37, below) to select and/or assign an Agent
Contact.
NOTE: There can be only one Agent Contact per filing.

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Figure 37 – Contact Selected
4. Click the Seller radio button to verify the Seller contact information. If there
are changes in the Seller name, the user may delete the current Seller Contact
and add a new Contact from the contact drop-down list. The information must
match the contact information in eRegistration and Company Registration.

Figure 38 – Seller Screen

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5. Select another name from the Contact Name and Email list.
6. Click the Assign Contact button to add additional Seller Contacts.

Figure 39 – Assign Seller Contact

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NOTE: The Seller name can be changed by clicking the X under “Remove” to delete
the current name and selecting another contact name from the drop-down menu.

Figure 40 – Seller Contact Screen
7. Click on the Buyers Tab to proceed to Customer Company data entry.

Figure 41 – Customer Company Information on Buyers Screen

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8. Click Add to add Customer Company Data.
9. Enter Customer Company Name in the available field.

Figure 42 – Add Customer Company
10. Click Save to save Customer Company information. The Customer Company
name will display in the list of Customer Companies.

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11. Click the Contracts Tab.
12. Click Add to add a Contract and Associated Contract Details.

Figure 43 – Contracts Tab
13. Enter data in the Contract Details Tab as required and defined in the Data
Dictionary and Validation Rules.
14. Click Save (Figure 43, above). The data entered will display in the top section
of the contracts screen as shown (in Figure 44, below)
IMPORTANT: The Contract Execution Date must be earlier than or equal to the last
day of the selected filing period.

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After clicking Save, the data entered will display in the top section of the
Contracts screen as shown below.

Figure 44 – Contracts Details Screen

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15. Click the Contract Products Tab.

Figure 45 – Contract Products Fields
16. Click Add to enable data input. The drop-down menus appear after the Add
button is clicked.

Figure 46 – Contracts Products Data

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17. Click Save to save the new Contract Products data. The new data record will
display in the Contracts Product screen.

Figure 47 – Contract Product Data
18. Click the Transactions Tab to display the Transaction Details Screen as shown
below.
19. Click Add to enable the Transaction Details Fields.
20. Enter the information in the Transaction Details Fields as required and defined
by the Data Dictionary.

Figure 48 – Transactions Screen
21. Click Save.
IMPORTANT: The begin and end dates in Transaction Details must fall within the
filing period selected.

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22. The Transaction data that was entered and saved displays as shown in Figure
49, below.

Figure 49 – Transactions Data
23. Click Submit to send the data to FERC for Filing.

Figure 50 – Submit Button

24. The following screen will display after the data is submitted.

Figure 51 – Confirmation Screen

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Data Review and Verification in the Web Interface

Once data is uploaded, manually entered, or edited, the information will be available for review
on the system Tabs and in Fields, as displayed in the screen below.
NOTE: The system will only display up to 10,000 rows of data for users to review in the
User Interface.

1. Click the enabled Seller Name from the web Interface Screen to open the ID Data tab.

Figure 52 – Seller Screen

ID Data Tab
This is the initial screen that will display after the enabled Seller link is selected.

Figure 53 – ID Data Tab

Filer Radio Button
1. Click Filer radio button under the ID Data tab. The Filer Contact Screen displays as
shown in Figure 54, below.

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Figure 54 – Filer Contact Screen
2.

Select a Contact name from the drop-down list to view applicable contact information.

Figure 55 – Select a Contact Name
3. Click Assign Contact to assign additional contacts to the particular EQR Filing.
4. Click the red “X” in the contact name grid to remove the contact from the list.

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NOTE: The original contact information is populated from the eRegistration and
Company Registration systems. In order to modify the existing EQR contacts, the user
must first edit the information in those systems.
5. Click Seller. The screen associated with the Seller contains the transaction field at the
bottom of the page.

Sellers
Each EQR filing must have Seller Contact information associated with contract and transaction
data.

Figure 56 – Seller Contact Screen

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1. Select a Contact name from the drop-down menu to display the contact information.
NOTE: The default contact can be removed by clicking the red “X” (Figure 57,
below) and can be replaced with a new contact from the list of available names in
the drop down menu. That list is populated from Company Registration.

Figure 57 – Seller Contact Name Selected or Removed
View the Index Price Publisher Information (Data Dictionary Field 73) in the Transactions
Reported to the Index Publisher (Field 13) section at the bottom of the ID Data tab screen.
2. Click Add to add additional transactions reported to the Index Publisher.

Figure 58 – Transaction Fields
3. Click Save to save the information.

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Customer Company Information on the Buyer Tab
1. Click the Buyers Tab to view the Customer Company Names (Data Dictionary Field 17).

Figure 59 – Customer Company Screen
The information displayed lists all Customer Companies populated from the CSV File or Manual
Entry for that particular Seller during the relevant EQR Filing Period.
2.
3.
4.
5.

Click Edit to edit any existing Customer Company information.
Click Delete to delete a selected Customer Company from the list.
Click Add to add an additional Customer Company.
Enter the new Customer Company name in the field.

Figure 60 – Customer Company Addition
6. Click Save.

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The new Customer Company information will display at the end of the Customer Company
list as shown below.

Figure 61 - New Customer Company Added

Contracts Tab
1. Click the Contracts tab to view the contracts screen as shown below.

Figure 62 – Contracts Lists
NOTE: The Contract Unique ID (Data Dictionary Field 15) must begin with the letter C.
The Contract Unique ID matches the contract product to the related contract.
2. Select the Contract drop-down menu to display all contracts or specific contracts.

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3. Select a Customer Company from the Buyer drop-down menu to view contracts with a
given Customer.

Figure 63 – Customer Company Drop-down Menu
4. Select a FERC Tariff reference (Data Dictionary Field 19) from the drop-down menu to
view the referenced information.

Figure 64 – Tariff Reference Listing

Figure 65 - Screen showing Contract-Customer Company and Tariff Reference Selected
NOTE: A non-public utility without a FERC Tariff Reference should enter “NPU” for
the FERC Tariff Reference in Field 19.

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Contracts Details Tab
This section of the Contracts Screen provides information about the relevant agreement.

Figure 66 - Contracts Selected
1. Click Add to made additional entries in Contract Details.

Figure 67 – Contract Details Enabled Fields
2. Fields identified by an asterisk (*) are required and must contain data as specified in the
Data Dictionary.
3. Click Save to save the new Contract Details Information.
4. Click Delete to delete the selected Contract Details Information.
5. Click Edit to make changes in the contract details.
6. Click Save to save changes to the information in these screens. The Save option is
enabled after the user completes data edits.

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Figure 68 – Contracts Details Screen

Contract Products Tab
All contracts must include at least one contract product.

Figure 69 – Contract Product Screen
1. Click Add to add additional contract products.
2. Click Edit to make changes to a selected Contract Product.
3. Click Delete to delete the Contract Product Details selected.
4. Click Save to save the changes.

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Transactions Tab
The Transactions Tab lists the transactions from the selected Contract.
1. Click Add to add additional transaction information in the fields provided. All fields
with asterisks are mandatory.
2. Select each drop-down menu to select the options for each mandatory field.
NOTE: Follow the Data Dictionary guidelines to select the appropriate options for each
field.

Figure 70 – Transactions Details Fields
3. Click Edit to edit the selected transaction.
4. Click Delete to delete the selected transaction.
5. Click Save to save the new transaction or changes to an existing transaction.

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After the transactions details are properly populated and saved, the information will display
as shown below in Figure 71, below.

Figure 71 – Populated Transaction Details Data

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IV. Submitting the EQR Filing

Submitting the EQR Filing

1. From any of the screens in the previous sections, click Submit to send the data to FERC
for filing.

Figure 72 – Submit Button
NOTE: If there are errors that will prevent the report from being filed with FERC, they
will display on the screen. The confirmation screen will not display.

Figure 73 – Confirmation Pop-up
2. Click OK to affirm the decision to submit the EQR data.
3. The confirmation screen displays.

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Figure 74 – Confirmation Screen

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V.

EQR Web Interface and XML System Guide
V. EQR Test Only Option

EQR Test Only Option

The Test Only Validation feature allows users to run a file through FERC’s data validation
screens before submitting data files to FERC for filing and processing. The advantage of using
the test-only option is that testing the data first speeds up eventual processing time. It also
allows users to receive error messages more quickly.
Users can send data to test it via Manual Entry, CSV upload, or XML upload into the Working
Data system. After receiving error messages in the test-only environment, users can edit data in
manual edit before submitting the files to be processed.
Once data is available in the Data System, the user can use the “CSV download” button to
download the files.

Accessing the Test Only Option
1. Click the ID Data Tab or any available tab to view the Test Only Option Triangle as
shown in the screen below.

Figure 75 – Test Triangle
2. Click the blue triangle to display the Test Only box.

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3. Check the Test Only Option box to view the additional menus.

Figure 76 – Test Only Options Selected
•

Submit for Test – This will allow the user to send a file and view data before validating
the EQR.

•

Download CSV – This will allow the user to view a CSV file at any point before or after
making changes.

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Sending Data for Test Only Validation
The "Submit for Test" button allows the user to submit the data for validation in the test only
environment before sending the data to FERC for filing.
Load the CSV File according to the steps listed in this guide.
1. Click the Submit for Test button.

Figure 77 – Submit for Test
2.

Click OK to confirm that you want to submit the test file to be validated.

Figure 78 – Confirmation to Submit
3. A confirmation message will appear on the screen as shown in Figure 79, below. An
automated receipt email will be sent to the person who sent the EQR file for Validation.

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Figure 79 – Confirmation Screen

Test Only – CSV File Download
Load the CSV File according to the steps listed in this guide.
1. Click the ID Data Tab or any available tab to view the Test Only Option Triangle as
shown in Figure 75 above.
2. Click the blue triangle to display the Test Only box as shown in Figure 76 above.
3. Click the Download CSV button. The following screen displays.

Figure 80 – Confirmation Message
4. Click OK to view the unzipped CSV files as shown below.

Figure 81 – CSV Files Displayed
5. Click the icon beside each file’s name to open and view its contents.

Figure 82 – Example of CSV Content

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Test Only XML Submission Download
This menu option allows the user to view the test file in XML format regardless of the initial file
format.
1. Click the “Test Only XML Submission Download” link as shown below.

Figure 83 – Test XML Download Screen
2. Enter the user’s eRegistered email address.
3. Enter password to download previously submitted test files.
4. Click “Test Only Submissions” to view all the submissions the user has sent.
IMPORTANT: Clicking the Download button (below) will display the file in XML even
if the initial files were submitted as CSV or by Manual Entry.

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Figure 84 – File Submission View
5. Click the Download link of the XML Submission.
6. Click Open to open the file.

Figure 85 – Click Open
7. The XML file will open.

Figure 86 – XML View
8. Click on the file to view XML code similar to that shown in Figure 87, below.

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Figure 87 – File of XML Code

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Delete Working Data
Once the user logs into the EQR Submission Viewer and accesses the Seller page, the user will
see a “Temp Data” column on the right side of the screen.

Figure 88 – Temp Data Column
The Delete button is enabled depending on the status of the test filing, described in scenarios 1 –
3 in Figure 89, below.
IMPORTANT: This button can only delete test data using the Test Only Features. If
the user has submitted the report as a final filing, the delete button will NOT be enabled.
The user must refile using the steps described in this guide.
Scenario Does Working Does filing exist in EQR
Data Exist?
database (DB) for same
filing period?

Is Delete
Button
Enabled?

Populate User
Interface (UI)
from:

1

Yes

No

Yes

Working Data

2

Yes

Yes

Yes

Working Data

3

No

Yes

No

EQR DB

Figure 89 – Conditions under which Delete Button is enabled for Test Data

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VI. Notifications

Notifications

There are different emails notifications based on the status of the EQR filing. It is important that
the user review the emails for instructions or errors that may require data correction in order for
the report to be successfully filed with FERC.
The following diagram displays the three possible email types and the order in which users will
receive them. If the filing submitted is for test only, that will be indicated in the email.

1. Receipt
Email

2. Validation
Email

3. Acceptance
Email

3. Rejection
Email

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FERC Receipt of EQR data
After EQR data is sent to FERC, an automatic email is sent to the user who clicked the
“Submit” button. Receipt of EQR data by FERC does not mean the EQR file has been accepted
as valid by FERC. Figure 90 shows an example of a receipt email.

Figure 90 – Typical Receipt Confirmation
If a large CSV file is sent to FERC, an automatic email is sent to the user. Figure 91 shows
an example of a large CSV file receipt email.

Figure 91 – Large CSV Pre-Validation email

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FERC Validation Processing
Once data is sent to FERC, an automatic email is sent to the user when the data enters validation.
It does not mean that the EQR has been accepted by FERC. If the data is sent for Test Only
Validation, the email message will differ slightly.
The email will indicate any initial errors or warnings associated with the file. However, an
additional email will signal final results. If the file is rejected, a separate rejection email is sent
to the user. The file is not considered accepted until a separate acceptance email is sent.

Figure 92 – Validation email

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FERC Rejection of EQR Filing
This email is sent to all Filer and Seller Contacts if a Filing is rejected. If this email has been
received, please contact FERC Online Support at [email protected] (Telephone: 202502-6652; Toll-free: 1-866-208-3676) to report the issue.

Figure 93 – Rejection of Filing Confirmation

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FERC Acceptance of EQR Filing
This email is sent to all Filer and Seller Contacts once a Filing is accepted. If this email has not
been received, then FERC has not accepted the filing.

Figure 94 – Acceptance of Filing Confirmation
IMPORTANT: If there are no errors and the acceptance email is not received, please
contact FERC Online Support at [email protected] (Telephone: 202-502-6652;
Toll-free: 1-866-208-3676) to report the issue.

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VII. Uploading an XML File

Uploading an XML File

In Order 770, the Commission discussed the many XML parser programs (commonly referred to
as XML editors) available free on-line that can help you to check whether your XML file is
consistent with the EQR XML Schema. The editors will check for data formatting errors. If
your file contains business logic errors, a validation email will notify you. You can find some of
the EQR XML editors @ http://en.wikipedia.org/wiki/Comparison_of_XML_editors
FERC has released a web service for the outside users to submit the zipped EQR XML files to
FERC. To send the EQR filing in XML format, there are two options.

Option-1: Direct XML Upload
This webpage is used to upload an EQR XML to the FERC. The EQR XML must be zipped.
The direct xml upload page is as follows.
https://eqronline.ferc.gov/FormsSubmissionWCF.aspx
1. Enter the user’s eRegistered email address and password.

Figure 95 - Direct XML File Submission
2. Click the Browse button to locate the file to load (sample file list displayed in Figure 96,
below)

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Figure 96 – File Listings to Load XML File
3. Click the Upload button shown in Figure 95 above to upload the zipped XML to FERC.

Figure 97 – XML Confirmation Box
4. Click OK to submit the filing.
5. Upon successful submission, the user will see a File Upload Status and FERC EQR
Submission ID as shown in the figure below.

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Figure 98 – XML Upload Status Screen

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Option-2: Web Service
FERC has released a web service for the users to submit EQL files. The WSDL location for the
service is as follows, https://formssubmissionservice.ferc.gov/.
The service features two interface methods, Hearbeat() and SubmitFile() and
submitFileValidateOnly() is https enabled. The client software can use the above link to access
the service and generate a proxy class. The example below is written in c#.

Figure 99 – XML file displayed

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VII. Uploading an XML File

XML Data Validation
For XSD validation, FERC is providing two online documents,
http://eqr.ferc.gov/XSD/XmlModelPublic_DataStructure.xsd
http://eqr.ferc.gov/XSD/XmlModelPublic_DataValue.xsd
For validation, reference only http://eqr.ferc.gov/XSD/XmlModelPublic_DataStructure.xsd from
code. This file contains an xs:include to the second file,
http://eqr.ferc.gov/XSD/XmlModelPublic_DataValue.xsd, so both are automatically included in
the validation.
The XML data should be validated before uploading to FERC. Two XML samples are
hyperlinked below:

File=New
File=Replace
NOTE: The PORSL and PODSL fields were split into two parts PORSL/PORSLHub,
and PODSL/PODSLHub because of business rules that could not be used in XSD without
splitting. Specifically, if PODBA=HUB, then PODSL must come from Appendix C, but
if PODBA is not HUB, then PODSL can be anything. Likewise, if PORBA=HUB, then
PORSL must come from Appendix C, but if PORBA is not HUB, then PORSL can be
anything.
In order to accommodate the logic in XSD the fields were split into two. If
PODBA=HUB, then set PODSLHub from Appendix C and exclude PODSL from the
XML, but if PODBA is not HUB, then set PODSL and exclude PODSLHub from the
XML. Likewise if PORBA=HUB, then set PORSLHub from Appendix C and exclude
PORSL from the XML, but if PORBA is not HUB then set PORSL and exclude
PORSLHub from the XML.

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Direct XML Submissions Test Only
1. Click the Direct XML Submission Link.

Figure 100 – XML Submissions Test Only
2. Click the Test Only Option box. The Test Only confirmation box displays.

Figure 101 – Test Only Confirmation
3. Click the OK box.
4. Enter the user’s eRegistered email address and password.
5. Click Browse to locate the file.

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Figure 102 – Loading XML File for Test Only Validation
6. Click Upload to upload the XML File.
7. Click OK to confirm the upload.

Figure 103 – Confirmation
8. The Test filing has been sent and a submission ID will display as shown below.

Figure 104 - Direct XML Submission-Successful

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EQR Web Submission Filing Guide

Appendix A – The CSV File
The tabs and information in the following sections will display data contained in the CSV File.
The CSV File must be zipped before being uploaded into the EQR System.
The CSV is composed of four individual files. The beginning part of the file name can be
different but all four files must end with the following text.
_ident.csv
_contracts.csv
_transactions.csv
_indexpub.csv
The CSV files must be zipped using a MS Windows standard compression tool. The extension
name of the uploading file must be .zip; for example, the name of the zip file might be
201306_C003118.zip or 2013_TestEnergyCompany.zip.

Figure 105 –Example CSV Files

Figure 106 - Example of an Ident file displayed in Excel
Each file contains various fields that contain information on company data, transaction data,
contract data, and various types of contact information. For detailed information concerning the
fields and information in each file, please refer to the Data Dictionary at the following URL:
http://www.ferc.gov/docs-filing/eqr/order770/data-dictionary.pdf
IMPORTANT: When opening a CSV file that includes any long date - or - time
format number, please use Notepad instead of Excel. Because Excel
automatically converts those long numbers into scientific format, users who open
CSV files in Excel will need to change them to the general format with no
decimals before resaving as a (zipped) CSV file.

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Appendix B – Error Messages for CSV Upload and Pre-Validation
NOTE: Message numbers do not indicate any classification or categorization of errors.
Message #

Cause

Message

50

Browser Version checking.

60
70

System maintenance.
Plan for system maintenance.

80

Forgot password, then requested for “Send
Password Info” with wrong email.

90
100

Didn’t enter email address when login
Login or password is incorrect.

200

Logged in email address was not registered.

300

No Seller found for a logged in user

400

Zip file was unable to select / Zip file is empty

500

When the user selected a wrong Action

This Browser [{0}] and Version [{1}] does not support FERC EQR at
this time! Please use Internet Explorer version ≥ 7 or Google Chrome
version ≥ 31
EQR System is down for maintenance.
EQR Sandbox will be down for maintenance from 
File Typeapplication/pdf
File TitleElectric Quarterly Report (EQR) Web Interface and XML System Guide
SubjectElectric Quarterly Report (EQR) Web Interface and XML System Guide
AuthorFERC
File Modified2022-06-08
File Created2014-07-23

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